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Broker-Dealer Regulation (Second Edition)
Book Publication Date:
Sample letter from law firm to individual stating that law firm will continue to represent both individual and securities firm in FINRA and SEC investigation, but will cease to represent individual if conflict of interest arises between individual and securities firm
Other Document Templates
PLI Item #:
Corporate & Securities
conflict of interest
Securities and Exchange Commission
separate legal counsel
withdrawal from representation
consent to representation
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